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James Edward Daly

Bluering Advisors, Inc

Lagrangeville, NY

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Current Employers
Bluering Advisors, Inc

Lagrangeville, NY • United States

Current Registrations

AuthorityCategoryStatusDate
NY RA APPROVED 2021-11-01
  • NY RA
    APPROVED
    Since 2021-11-01

Branch Locations

Lagrangeville, NY • United States

Disclosures

1 disclosure category reported Yes on this SEC record. Read each Yes below, then review the firm’s Form ADV Item 11 guide for how disclosure questions work.

  • Regulatory action No
  • Criminal No
  • Bankruptcy No
  • Civil judicial No
  • Bond No
  • Judgment / lien No
  • Investigation No
  • Customer complaint Yes
  • Termination No
Employment History
OrganizationCityStateFromTo
Stifel Nicolaus & Co Inc Poughkeepsie NY 07/2011 Present
  • 07/2011 → Present
    Stifel Nicolaus & Co Inc
    Poughkeepsie, NY
Previous Registrations
Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 1998-08-08
S63 Uniform Securities Agent State Law Examination 1987-07-21
  • S65 Uniform Investment Adviser Law Examination
    1998-08-08
  • S63 Uniform Securities Agent State Law Examination
    1987-07-21
Other Names
  • James E Daly

View on SEC IAPD

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